82 FR 14071 - Proposed Collection; Comment Request

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 50 (March 16, 2017)

Page Range		14071-14071
FR Document		2017-05274

Federal Register, Volume 82 Issue 50 (Thursday, March 16, 2017)

[Federal Register Volume 82, Number 50 (Thursday, March 16, 2017)]
[Notices]
[Page 14071]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-05274]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of FOIA Services, 100 F Street NE., Washington, DC 
20549-2736.

Extension:
    Rule 15c3-1, SEC File No. 270-197, OMB Control No. 3235-0200

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the existing 
collection of information provided for in Rule 15c3-1 (17 CFR 240.15c3-
1), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) 
(``Exchange Act''). The Commission plans to submit this existing 
collection of information to the Office of Management and Budget 
(``OMB'') for extension and approval.
    Rule 15c3-1 requires brokers-dealers to have at all times 
sufficient liquid assets to meet their current liabilities, 
particularly the claims of customers. The rule facilitates the 
monitoring of the financial condition of broker-dealers by the 
Commission and the various self-regulatory organizations. It is 
estimated that broker-dealer respondents registered with the Commission 
and subject to the collection of information requirements of Rule 15c3-
1 incur an aggregate annual time burden of 65,915.31 hours to comply 
with this rule and an aggregate annual external cost of $160,000.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Commission, including whether the information 
shall have practical utility; (b) the accuracy of the Commission's 
estimates of the burden of the proposed collection of information; (c) 
ways to enhance the quality, utility, and clarity of the information 
collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including through the use of automated 
collection techniques or other forms of information technology. 
Consideration will be given to comments and suggestions submitted in 
writing within 60 days of this publication.
    An agency may not conduct or sponsor, and a person is not required 
to respond to, a collection of information under the PRA unless it 
displays a currently valid OMB control number.
    Please direct your written comments to: Pamela Dyson, Director/
Chief Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 100 F Street NE., Washington, DC 20549, or send an email 
to: [email protected].

    Dated: March 13, 2017.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-05274 Filed 3-15-17; 8:45 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 50 / Thursday, March 16, 2017 / Notices 14071

Form S–4 (17 CFR 239.25) is the form Rule 15c3–1, SEC File No. 270–197, OMB Dated: March 13, 2017.
used for registration under the Control No. 3235–0200 Eduardo A. Aleman,
Securities Act of 1933 (15 U.S.C. 77a et Assistant Secretary.
seq.) of securities issued in business Notice is hereby given that pursuant
[FR Doc. 2017–05274 Filed 3–15–17; 8:45 am]
combinations transactions. The to the Paperwork Reduction Act of 1995
BILLING CODE 8011–01–P
information collected is intended to (44 U.S.C. 3501 et seq.) (‘‘PRA’’), the
ensure the adequacy of information Securities and Exchange Commission
available to investors in connection (‘‘Commission’’) is soliciting comments SECURITIES AND EXCHANGE
with business combination transactions. on the existing collection of information COMMISSION
Form S–4 takes approximately 4,099.68 provided for in Rule 15c3–1 (17 CFR
hours per response to prepare and is 240.15c3–1), under the Securities Proposed Collection; Comment
filed by 400 registrants annually. We Exchange Act of 1934 (15 U.S.C. 78a et Request
estimate that 25% of the 4,099.68 hours seq.) (‘‘Exchange Act’’). The Upon Written Request Copies Available
per response (1,024.92 hours) is Commission plans to submit this From: Securities and Exchange
prepared by the registrant for an annual existing collection of information to the Commission, Office of FOIA Services,
reporting burden of 409,968 hours Office of Management and Budget 100 F Street NE., Washington, DC
(1,024.92 hours per response × 400 (‘‘OMB’’) for extension and approval. 20549–2736.
responses). Rule 15c3–1 requires brokers-dealers Extension:
Written comments are invited on: (a)
to have at all times sufficient liquid Form 10, OMB Control No. 3235–0064,
Whether the proposed collection of SEC File No. 270–051
assets to meet their current liabilities,
information is necessary for the proper
performance of the functions of the particularly the claims of customers. Notice is hereby given that, pursuant
agency, including whether the The rule facilitates the monitoring of the to the Paperwork Reduction Act of 1995
information will have practical utility; financial condition of broker-dealers by (44 U.S.C. 3501 et seq.), the Securities
(b) the accuracy of the agency’s estimate the Commission and the various self- and Exchange Commission
of the burden imposed by the collection regulatory organizations. It is estimated (‘‘Commission’’) is soliciting comments
of information; (c) ways to enhance the that broker-dealer respondents on the collection of information
quality, utility, and clarity of the registered with the Commission and summarized below. The Commission
information collected; and (d) ways to subject to the collection of information plans to submit this existing collection
minimize the burden of the collection of requirements of Rule 15c3–1 incur an of information to the office of
information on respondents, including aggregate annual time burden of Management and Budget for approval of
through the use of automated collection 65,915.31 hours to comply with this extensions on the following:
Form 10 (17 CFR 249.210) is used by
techniques or other forms of information rule and an aggregate annual external
issuers to register a class of securities
technology. Consideration will be given cost of $160,000. pursuant to Section 12(b) or Section
to comments and suggestions submitted Written comments are invited on: (a) 12(g) (15 U.S.C. 78l(b) and 78l(g)) of the
in writing within 60 days of this Whether the proposed collection of Exchange Act of 1934. Form 10 requires
publication. financial and other information about
information is necessary for the proper
An agency may not conduct or such matters as the issuer’s business,
performance of the functions of the
sponsor, and a person is not required to properties, identity and remuneration of
respond to, a collection of information Commission, including whether the
information shall have practical utility; management, outstanding securities and
unless it displays a currently valid securities to be registered and financial
control number. (b) the accuracy of the Commission’s
estimates of the burden of the proposed condition. The information provided by
Please direct your written comment to Form 10 is intended to ensure the
Pamela Dyson, Director/Chief collection of information; (c) ways to
enhance the quality, utility, and clarity adequacy of information available to
Information Officer, Securities and investors about a company. Form 10
Exchange Commission, c/o Remi Pavlik- of the information collected; and (d)
takes approximately 215.21 hours per
Simon, 100 F Street NE., Washington, ways to minimize the burden of the
response to prepare and is filed by
DC 20549 or send an email to: PRA_ collection of information on
approximately 136 respondents. We
Mailbox@sec.gov. respondents, including through the use estimated that 25% of the 215.21 hours
Dated: March 13, 2017. of automated collection techniques or per response (53.803 hours) is prepared
Eduardo A. Aleman, other forms of information technology. by the company for an annual reporting
Consideration will be given to burden of 7,317 hours (53.803 hours per
Assistant Secretary.
[FR Doc. 2017–05273 Filed 3–15–17; 8:45 am]
comments and suggestions submitted in response × 136 responses).
writing within 60 days of this Written comments are invited on: (a)
BILLING CODE 8011–01–P
publication. Whether the proposed collection of
An agency may not conduct or information is necessary for the proper
SECURITIES AND EXCHANGE sponsor, and a person is not required to performance of the functions of the
COMMISSION respond to, a collection of information agency, including whether the
under the PRA unless it displays a information will have practical utility;
Proposed Collection; Comment currently valid OMB control number. (b) the accuracy of the agency’s estimate
of burden of the collection of
mstockstill on DSK3G9T082PROD with NOTICES

Request
Please direct your written comments information; (c) ways to enhance the
Upon Written Request, Copies Available to: Pamela Dyson, Director/Chief quality, utility, and clarity of the
From: Securities and Exchange Information Officer, Securities and information collected; and (d) ways to
Commission, Office of FOIA Services, Exchange Commission, c/o Remi Pavlik- minimize the burden of the collection of
100 F Street NE., Washington, DC Simon, 100 F Street NE., Washington, information on respondents, including
20549–2736. DC 20549, or send an email to: PRA_ through the use of automated collection
Extension: Mailbox@sec.gov. techniques or other forms of information

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Document Created: 2017-03-16 02:18:55
Document Modified: 2017-03-16 02:18:55

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		82 FR 14071